Full-Time

Compliance Advisor Senior Manager

Confirmed live in the last 24 hours

Capital One

Capital One

10,001+ employees

Offers diverse financial products and services

Fintech
Social Impact
Financial Services

Compensation Overview

$172.9k - $197.3kAnnually

+ Performance-based incentive compensation + Cash bonuses + Long-term incentives

Senior

No H1B Sponsorship

New York, NY, USA + 1 more

More locations: Wilmington, DE, USA

New York City position is hybrid on-site.

Category
Risk & Compliance
Legal & Compliance
Requirements
  • Bachelor's degree or military experience
  • At least 7 years of experience working in compliance, legal, audit, operations or finance within financial services OR at least 7 years of experience working for a regulator overseeing broker dealers or investment advisers
  • FINRA licensed with valid Series 7 or 79
  • Master’s degree or Juris Doctor (Preferred)
  • 8+ years of experience working in compliance, legal, audit, operations or finance within financial services OR 8+ years of experience with a regulator overseeing broker dealers or investment adviser (Preferred)
  • Series 24 or 9/10 (Preferred)
Responsibilities
  • Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to application of those rules to Asset-Backed Securities underwriting and secondary trading, Commercial Mortgage-Backed Securities, equities, equity research, investment banking and mergers and acquisitions.
  • Experience with trade surveillance of fixed income (asset backed securities including commercial mortgage backed securities) and equity trading.
  • Familiarity with securities licensing and registration protocols.
  • Provide CBD LOBs support/advice on the application of compliance requirements (corrective action, new product or process development, change in law or regulatory environment).
  • Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements.
  • Capture, maintain and analyze business area compliance data and interpret to ensure a consistent and adequate compliance risk management.
  • Maintain and enhance the LOB’s policies and procedures to ensure they accurately reflect actual practice and address regulatory requirements.
  • Assist in designing second line compliance monitoring and testing.
  • Advise CBD business leaders on their obligations under the Capital One’s Compliance Management Policy.
  • Assist in guiding CBD LOBs on the development and maintenance of processes to deliver on their responsibilities and accountabilities within the Compliance Management Program.
  • Actively participate on complex projects through providing guidance, advise, and effective challenge.
  • Assist in the maintenance of the firm’s books and records.
  • Assist in the promotion of a culture of compliance and managed risk taking.
  • Flexibility to travel to various Capital One locations as necessary.
  • Performs other related work as assigned by a Commercial Bank Compliance Officer or the Chief Compliance Officer.

Capital One offers a range of financial services, including credit cards, savings accounts, car loans, and business checking accounts, primarily in the United States. The company focuses on user-friendly banking solutions with no fees or minimums, making it easier for customers to manage their money. Capital One stands out from competitors with its commitment to financial inclusion and literacy, partnering with organizations to provide educational resources. The goal is to create a more accessible financial system for everyone.

Company Stage

IPO

Total Funding

$15.9M

Headquarters

McLean, Virginia

Founded

2014

Simplify Jobs

Simplify's Take

What believers are saying

  • Capital One's extensive range of financial products and services provides ample opportunities for career growth and specialization.
  • The company's commitment to financial inclusion and literacy offers employees a chance to make a meaningful impact on communities.
  • Strategic partnerships and investments, such as those with Stripe, Adyen, and StrongDM, indicate a forward-thinking approach and potential for innovation.

What critics are saying

  • The competitive financial services landscape requires Capital One to continuously innovate to maintain its market position.
  • The end of the consumer card partnership with Walmart could impact customer acquisition and revenue streams.

What makes Capital One unique

  • Capital One's focus on financial inclusion and no-fee banking solutions sets it apart from traditional banks that often have more restrictive fee structures.
  • Their strategic partnerships with fintech giants like Stripe and Adyen for fraud prevention highlight their commitment to leveraging technology for enhanced security.
  • Capital One's collaboration with educational platforms like Khan Academy underscores their dedication to financial literacy, a unique value proposition in the financial services sector.

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Benefits

Medical, Dental, & Vision coverage

Onsite Health Centers

Prescription saving with network of local pharmacies

Stock Purchase Plan

Education Assistance

401(k)

Flexible Spending Accounts

Life and Disability insurance

Generous paid time off + corporate & floating holidays

Registered dieticians on site, cooking classes and free virtual fitness classes

Employee Assistance Program